1964_SECURITIES_(DISCIPLINARY_COMMITTEE_PROCEEDINGS)_RULES — Page 2

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CAP. 333]

Securities (Disciplinary Committee Proceedings) Rules

[1978 Ed.

[Subsidiary]

L.N. 196/78.

Citation.

Interpretation.

SECURITIES (DISCIPLINARY COMMITTEE PROCEEDINGS) RULES

(Cap. 333, section 45)

[25th August, 1978.]

PART I

PRELIMINARY

1. These rules may be cited as the Securities (Disciplinary Committee Proceedings) Rules.

2. In these rules, unless the context otherwise requires-

"affidavit" includes affirmation;

"allegation" means an allegation of misconduct made against a

respondent under section 39 of the Ordinance;

"appeal" means an appeal under section 58 of the Ordinance;

"appellant" means a person who makes an appeal;

"clerk" means the clerk to the Committee or any deputy or person appointed by the Committee to perform the duties of that office;

"Committee" means the Disciplinary Committee;

"complainant" means the Commission, the Commissioner or any

other person making an allegation;

"hearing" means the hearing of an inquiry or an appeal;

"inquiry" means an inquiry into an allegation;

"respondent" means any stock exchange or the committee or any member of the committee of any such exchange against which or whom an allegation is made.

Allegation to be in writing, with affidavit.

Schedule, Forms 1 and 2.

PART II

INQUIRIES

3. (1) An allegation shall be in writing and signed by or on behalf of the complainant in Form 1 in the Schedule and shall be sent to the Commission together with an affidavit by or on behalf of the complainant in Form 2 in the Schedule stating the misconduct alleged.

(2) Where the allegation is made by the Commission it may be signed and the affidavit sworn on behalf of the Commission by

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CAP. 333] Securities (Disciplinary Committee Proceedings) Rules [1978 Ed. [Subsidiary] L.N. 196/78. Citation. Interpretation. SECURITIES (DISCIPLINARY COMMITTEE PROCEEDINGS) RULES (Cap. 333, section 45) [25th August, 1978.] PART I PRELIMINARY 1. These rules may be cited as the Securities (Disciplinary Committee Proceedings) Rules. 2. In these rules, unless the context otherwise requires- "affidavit" includes affirmation; "allegation" means an allegation of misconduct made against a respondent under section 39 of the Ordinance; "appeal" means an appeal under section 58 of the Ordinance; "appellant" means a person who makes an appeal; "clerk" means the clerk to the Committee or any deputy or person appointed by the Committee to perform the duties of that office; "Committee" means the Disciplinary Committee; "complainant" means the Commission, the Commissioner or any other person making an allegation; "hearing" means the hearing of an inquiry or an appeal; "inquiry" means an inquiry into an allegation; "respondent" means any stock exchange or the committee or any member of the committee of any such exchange against which or whom an allegation is made. Allegation to be in writing, with affidavit. Schedule, Forms 1 and 2. PART II INQUIRIES 3. (1) An allegation shall be in writing and signed by or on behalf of the complainant in Form 1 in the Schedule and shall be sent to the Commission together with an affidavit by or on behalf of the complainant in Form 2 in the Schedule stating the misconduct alleged. (2) Where the allegation is made by the Commission it may be signed and the affidavit sworn on behalf of the Commission by

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E2 CAP. 333] Securities (Disciplinary Committee Proceedings) Rules [1978 Ed. [Subsidiary] L.N. 196/78. Citation. Interpretation. SECURITIES (DISCIPLINARY COMMITTEE PROCEEDINGS) RULES (Cap. 333, section 45) [25th August, 1978.] PART I PRELIMINARY 1. These rules may be cited as the Securities (Disciplinary Committee Proceedings) Rules. 2. In these rules, unless the context otherwise requires- "affidavit" includes affirmation; "allegation" means an allegation of misconduct made against a respondent under section 39 of the Ordinance; “appeal” means an appeal under section 58 of the Ordinance; "appellant" means a person who makes an appeal; "clerk" means the clerk to the Committee or any deputy or person appointed by the Committee to perform the duties of that office; "Committee" means the Disciplinary Committee; "complainant" means the Commission, the Commissioner or any other person making an allegation; “hearing" means the hearing of an inquiry or an appeal; “inquiry” means an inquiry into an allegation; "respondent" means any stock exchange or the committee or any member of the committee of any such exchange against which or whom an allegation is made. Allegation to be in writing, with affidavit. Schedule, Forms 1 and 2. PART II INQUIRIES 3. (1) An allegation shall be in writing and signed by or on behalf of the complainant in Form 1 in the Schedule and shall be sent to the Commission together with an affidavit by or on behalf of the complainant in Form 2 in the Schedule stating the misconduct alleged. (2) Where the allegation is made by the Commission it may be signed and the affidavit sworn on behalf of the Commission by

2026-05-05 11:49:03 · Baseline

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